Nylife Securities LLC

Broker Joel Flaningan in Nylife Securities LLC Firm Has Customer Complaint

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joel Flaningan (Flaningan), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Flaningan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 11, 2022.

Plaintiff alleges that in or about June 2017, she was misled into investing $97,000.00 in an unregistered security in the form of a PRMH Lenders Fund II, LLC. Promissory Note. Plaintiffs seek actual damages, interest, attorney’s fees and costs.

There are Recent Customer Complaints with Broker Michael Lawson in Firm Nylife Securities LLC

December 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lawson (Lawson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lawson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,781.21 on February 14, 2022.

Customer alleges that he was misled regarding the surrender period and charges related to variable annuity purchased in January 2016.

Broker Christine Brezovsky in Nylife Securities LLC Firm Has Customer Complaint

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christine Brezovsky (Brezovsky), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brezovsky recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $6,525.40 on March 04, 2022.

Customer alleges that in June 2021 he was not informed of the tax implications of surrendering a variable Universal Life Insurance policy with outstanding loans to fund a new policy with improved terms.

There are Recent Customer Complaints with Broker Emy Pham in Firm Nylife Securities LLC

December 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emy Pham (Pham), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.

Customer alleges that he does not fully understand the benefit of his existing policies including two separate Variable Universal life insurance policies he purchased in April 2020 and December 2020, respectively, as well as a Variable Annuity purchased in September 2020.

Broker Robert Devito in Nylife Securities LLC Firm Has Customer Complaint

December 4, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Devito (Devito), currently associated with Nylife Securities LLC, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Devito concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $9,798.59 on March 16, 2022.

Time Frame: Unspecified. The matter is comprised of 61 individual claimants with the same alleged allegations of unsuitable investments, excessive trading, and failure to supervise. RR covered services for 1 claimant in this matter.

Broker William Buikema in Nylife Securities LLC Firm Has Customer Complaint

December 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Buikema (Buikema), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Buikema recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on March 31, 2022.

Customer alleges that on January 24, 2022, 50 shares of TESLA Stock were sold without her authorization. Customer wishes to be made whole.

Broker Brian Clough in Nylife Securities LLC Firm Has Customer Complaint

November 30, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Clough (Clough), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clough recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 13, 2022.

Customer alleges that in or around January 2022, he was misled regarding the impact of a partial withdrawal on the value of the Guaranteed Minimum Death Benefit of a Variable Annuity purchased in January 2005. Customer alleges that he was told that the death benefit was locked in.

Broker Ralph Owen in Nylife Securities LLC Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Owen (Owen), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Owen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $20,000.00 on April 18, 2022.

Customer alleges he communicated to RR Owen in or around November 2021 that his investment objective priority was safety of principal. He is disappointed that his March 2022 quarterly mutual fund statement shows an 8% market value loss.

There are Recent Customer Complaints with Broker Jeffrey Graff in Firm Nylife Securities LLC

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Graff (Graff), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 25, 2022.

Customer’s attorney alleges that his client was misled when he purchased a variable annuity in January 2018. Customer has requested to terminate the annuity without incurring a surrender fee.

There are Recent Customer Complaints with Broker Prasanna Bhatia in Firm Nylife Securities LLC

November 28, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Prasanna Bhatia (Bhatia), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bhatia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 27, 2022.

Customer alleges that in January 2016 and February 2016, she was misled regarding surrender charges when she purchased 2 variable annuities. She also alleges that she incurred a tax liability as a result of the recommendation to make changes to her mutual funds.